DFX Intelligence

A•••• S•••• L••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor41 years in industry

A•••• S•••• L••••••

Advisor at D••• L•••••• C•••••• M•••••••••

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:cf37b2ff-8c85-a669-ef2d-a7f1053b09d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 22, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: D••• L•••••• C•••••• M•••••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: May 7, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D••• L•••••• C•••••• M•••••••••	State registered	Jan 11, 2018	n/a	yes	SAN FRANCISCO, CA	Current employment
D••• L•••••• C•••••• M•••••••••	State registered	Nov 6, 2017	Dec 31, 2017	no	SAN FRANCISCO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• C•••••• A••••••• I•••	D••• L•••••• C•••••• M•••••••••	Dec 31, 2015	Nov 6, 2017	676	Firm change after gap	Other

Relationships

Registered with (2)

→ D••• L•••••• C•••••• M•••••••••Registered adviserregistration: previous registration
Nov 6, 2017 to Dec 31, 2017factForm ADV
→ A•••• C•••••• A••••••• I•••Registered adviserregistration: previous registration
Oct 22, 2014 to Dec 31, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf37b2ff-8c85-a669-ef2d-a7f1053b09d1
First observed: Oct 22, 2014
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.